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Showing 681 to 690 of 1715 search results for Final Notice refers to breaches of PRIN.
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Final Notice 2019: JS Bedford Motors Ltd [pdf]
This final notice (JS Bedford Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Final Notice 2022: Bank House Investment Management Limited [pdf]
This Final Notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a financial penalty -
Final Notice 2022: Bellamachina Ltd [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND). -
Final notice 2019: Leicester Vehicle Finance Ltd [pdf]
This final notice (Leicester Vehicle Finance Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Falkland Performance Centre Ltd [pdf]
This final notice (Falkland Performance Centre Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Simple Car and Van Ltd [pdf]
This final notice (Simple Car and Van Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: AHM Automotive Limited [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation. -
Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final Notice 2022: Automotive Capital Management Limited [pdf]
This final notice refers to a failure to satisfy the appropriate resources (non-financial) and suitability threshold conditions and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.